Full text of SHOREBRIDGE CAPITAL SECURITIES, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 0MB Number: | | 3235-0123 | | | |---------------------------|--|------------------|--|--| | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | | | | 0MB APPROVAL | SEC FILE NUMBER | | |-----------------|--| | 8-69644 | | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | ----------<br>REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | | | |-----------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|----------------------------------------|--------------------------------| | | MM/DD/YY | AND ENDING 12/31/2020<br>-<br>MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: SHOREBRIDGE CAPITAL SECURITIES LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | FIRM I.D. NO. | | | 780 THIRD AVENUE | | | | | | (No. and Street) | | | | NEW YORK | NY | | 10017 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>JANICE PARISE | | | (212) 751-4422 | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | PRAGER METIS CPAS LLC | | | | | | (Name -if individual, state /ast,first, middle name) | | | | 222 MOUNT AIRY ROAD | BASKING RIDGE | NJ | 07920 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I<br>✓<br>certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption fi'om the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 2 40.17 a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** SEC 1410 (11-05) {…Read the full text as markdown